Client Assets compliance solution for CASS

Ruleguard’s electronic feed of client assets rules comes directly from the regulators into a single central repository, so firms are always up-to-date with the latest version and can maintain continuous compliance.

Firms can evidence line-by-line compliance with the applicable client asset regime. We make it easy to map processes, risks and controls to rules and automate assurance activities using attestations, task lists, and workflows.

Facilitate effortless communication between your teams and auditors. Ruleguard centralises documentation and evidence, making it readily accessible, reducing back-and-forth and enhancing auditor satisfaction.

Gain a comprehensive view of your internal controls with Ruleguard. Assess effectiveness, pinpoint vulnerabilities, and implement improvements with precision, ensuring robust financial health and regulatory compliance.

Automate your audit workflows within the Ruleguard platform, from specifying controls for testing to configuring custom workflows for different audit types, saving significant time and resources.

Achieve unparalleled oversight with Ruleguard's audit trail capabilities. Document and store every audit step, providing ongoing evidence of diligent oversight and thorough review, all within a single platform.